DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

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Former SEC-registered adviser

P•• F•••••••• A•••••••• I•••

Former SEC-registered adviserHolliston, MassachusettsCRD 109390SEC 801-66638IAPD
Latest filing Mar 3, 2017
First filing on the tape Mar 14, 2012 · 11 filings
RAUM
$44.4M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$44.4M as of Mar 3, 2017
Mar 22, 2012$40.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 3, 2017
Mar 22, 20120 then
Employees (5.A)1 as of Mar 3, 2017
Mar 26, 20131 then
Private funds: no history
RAUM -11% over the last fiscal year-5.9% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 3, 2017; every figure names its basis
RAUM per advisor
$44.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$185,050derivedRAUM over accounts (5.F.2.f)
Discretionary
97%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-11%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourlyreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, otherreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
240reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • H••••• B••••• W•••••• · President, Chief Compliance Officercontrol
      since 12/2002 · owns less than 5%
    • H••••• B••••• W•••••• · Shareholdercontrol
      since 06/1996 · owns 75% or more of P•••••••• R•••••••• I•••
    Entity owners
    • P•••••••• R•••••••• I••• · Holding Company
      direct · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Advisory activities · 2 to 3
      Jan 4, 2017 to Jan 9, 2017
    • Advisory activities · 3 to 2
      Nov 17, 2016 to Dec 16, 2016
    • Financial planning clients · 0 to unset
      Nov 17, 2016 to Dec 16, 2016
    • Accounts · 266 to 240
      Mar 29, 2016 to Nov 17, 2016
    • Discretionary RAUM · $49.0M to $43.2M
      Mar 29, 2016 to Nov 17, 2016
    • Non-discretionary RAUM · $1.2M to $1.3M
      Mar 29, 2016 to Nov 17, 2016
    • RAUM · $50.2M to $44.4M
      Mar 29, 2016 to Nov 17, 2016
    • Accounts · 265 to 266
      Mar 25, 2015 to Mar 29, 2016
    • Discretionary RAUM · $51.0M to $49.0M
      Mar 25, 2015 to Mar 29, 2016
    • Non-discretionary RAUM · $1.3M to $1.2M
      Mar 25, 2015 to Mar 29, 2016
    • RAUM · $52.2M to $50.2M
      Mar 25, 2015 to Mar 29, 2016
    • Accounts · 279 to 265
      Mar 26, 2014 to Mar 25, 2015
    • Discretionary RAUM · $51.9M to $51.0M
      Mar 26, 2014 to Mar 25, 2015
    • Non-discretionary RAUM · $1.4M to $1.3M
      Mar 26, 2014 to Mar 25, 2015
    • RAUM · $53.3M to $52.2M
      Mar 26, 2014 to Mar 25, 2015
    • Accounts · 296 to 279
      Mar 26, 2013 to Mar 26, 2014
    • Discretionary RAUM · $41.2M to $51.9M
      Mar 26, 2013 to Mar 26, 2014
    • Non-discretionary RAUM · $1.1M to $1.4M
      Mar 26, 2013 to Mar 26, 2014
    • RAUM · $42.3M to $53.3M
      Mar 26, 2013 to Mar 26, 2014
    • Accounts · 324 to 296
      Mar 22, 2012 to Mar 26, 2013
    • Advisory employees · unset to 1.0
      Mar 22, 2012 to Mar 26, 2013
    • Employees · unset to 1.0
      Mar 22, 2012 to Mar 26, 2013
    • State-registered IARs · 0 to 1
      Mar 22, 2012 to Mar 26, 2013
    • Discretionary RAUM · $39.1M to $41.2M
      Mar 22, 2012 to Mar 26, 2013
    • Non-discretionary RAUM · $945,015 to $1.1M
      Mar 22, 2012 to Mar 26, 2013
    • RAUM · $40.0M to $42.3M
      Mar 22, 2012 to Mar 26, 2013
    • Accounts · 318 to 324
      Mar 14, 2012 to Mar 22, 2012
    • Discretionary RAUM · $41.7M to $39.1M
      Mar 14, 2012 to Mar 22, 2012
    • Non-discretionary RAUM · $0 to $945,015
      Mar 14, 2012 to Mar 22, 2012
    • RAUM · $41.7M to $40.0M
      Mar 14, 2012 to Mar 22, 2012
    Signals
    No event on the tape.
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    Provenance
    Form ADV
    SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
    Advisors
    IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
    Class
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026